RIAs

The addition for Venture Visionary Partners grows its staff to 28 and total AUM to $3.7 billion.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.

The private equity-backed firm’s bottom line has been less affected by coronavirus-related low interest rates than its rivals, Moody’s says.

CEO Dan Arnold cites growth in traditional channels and in recently launched models that could bring even more opportunities.

Wealthy clients are the fastest growing segment of the company’s retail division.

The daughter of a privileged family had everything, until she didn’t. Then the work began.

CEO Jamie Price says the change will reduce potential conflicts of interest related to transaction fees and come with lower prices in wrap accounts.

The nation’s largest IBD made its first tech deal this year for a firm that has $120 billion in assets on its platform.

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The firm currently fields 40 teams, most of which have joined this year.